Compliance and Regulatory Specialist FX Brokerage

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Job description

Investigo are supporting a newly established UK satellite of a successful international trading & brokerage group to recruit a Regulatory and Compliance Advisory Specialist, for either a 6 month day rate contract role.

This greenfield role will be responsible for supporting the company in all compliance activities, you will help to proactively shape the firms internal and external compliance policies and operations.

You will create and review processes, policies and procedures around the compliance and risk management framework and you will ensure that the firms operational practices meet the requirements of the UK regulator and mirror their well-established European compliance values too.

This is an exciting role for someone who would be willing to help a firm establish their UK business from the ground up. You will be challenged to resolve compliance issues in a fast paced environment, engaging internally with a number of international interfaces within the group companies and with external parties. You will report directly to the CEO/ Executive Director and will be an integral part in mitigating risk and managing solutions to help support core business streams, strategic growth and commercial gain.

The firm has already submitted their licence for authorisation to the FCA, so you do not need to do this process. But supporting with the ongoing authorisation process, and eventually becoming the UK SMF16 once the firm is authorised will be a key component of this role.

Key Candidate Requirements:

• Previous experience working in a compliance function within an FX, CFD or Brokerage firm
• Ability to understand complex legal and regulatory concepts and translate them into documentation framework, supported by policies and procedures
• Experience, knowledge and understanding of UK compliance regulations and exchange rules effecting the UK FX/ CFD market
• If you have previously been or currently are an SMF16/SMF17 or have been a CF10/CF11 this would be highly beneficial

We are negotiable on day rate but ideally between £600-£800 per day, our client is budget conscious so please take this into consideration if interested. This role will fall Outside of IR35 due to the Small Companies exemption rule.

Our client is offering flexible working but will have a London office.

This is an URGENT hire and our client would ideally like to interview candidates this week (1st December onwards)